Finra directs the brokerage firm to pay $142,168 due to allegations of unsuitable investments and overtrading.
SEC cracks down on claiming Wyoming location but practicing elsewhere.
It's your story and the relationship you build that draws in prospects, a marketing expert told attendees at the <i>InvestmentNews</i> Women Adviser Summit in Boston on Tuesday.
Alabama, Indiana and Vermont will likely be joined by many states requiring adviser action against exploitation, while giving them immunity.
Advisers and clients often do a great job preparing the money for the family, but they fail to prepare the family for the money.
Boomer advisers must assure successors a future, or they won't stick around to help you cash out
Rick Fleming will push the agency to follow through on its review of how brokers and investment advisers disclose their fees to clients.
Advisers tried to prepare investors for Friday's wild ride as global markets digested the United Kingdom's surprising vote to exit the European Union after 43 years.
Anthony Diaz, under federal indictment for fraudulent sales of alternatives, embodies the criticisms of the likes of Sen. Elizabeth Warren.
Bank of America's brokerage unit admits wrongdoing in unprecedented <a href="http://www.investmentnews.com/article/20160623/FREE/160629959/merrill-lynch-to-pay-415m-to-settle-sec-charges-it-misused-customer">$415M consumer protection settlement </a> with SEC; slapped with two other fines the same day.
While the new fiduciary rule could be interpreted as an unnecessary compliance burden, it may also present an opportunity with regard to 401(k) accounts.
Following record MetLife fine, regulator says VAs are now at the core of their focus: complex products marketed to seniors.
The original industry regulations from 1934 and 1940 were perfect — just not perfectly enforced.
Push by advisers could help tug this needed legislation out of the doldrums and on to the president's desk.
Richard William Lunn Martin improperly recommended non-traditional ETFs while warning of economic collapse, Finra said
Supporters of 529 plans want tweaks to law that caps fund changes at two per year, which could spur adviser interest in managing them.
The wealth manager overbilled for investments in REITs and BDCs
First off, advisers should tell them that adding international stocks can dampen a portfolio's volatility, and increase the number of potential winners.
Here are some of the most critical and potentially damaging misconceptions held by compliance professionals.
Many financial professionals haven't taken the time to study how to tell the right story to resonate with their target audience.
